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BCDCDBGImplementationHandbook

Chapter9:Reporting Page1Revised:September2017

REPORTING

TABLE OF CONTENTS CHAPTER 9: REPORTING ...................................................................... 3

INTRODUCTION .................................................................................... 3 SEMI-ANNUAL REPORTS ..................................................................... 3 SINGLE AUDIT REPORT ....................................................................... 4 LABOR STANDARDS REPORT ............................................................. 5 EQUAL OPPORTUNITY ......................................................................... 5 SECTION 3 REPORT ............................................................................. 6 EMPLOYEE SELF-CERTIFICATION REPORT ...................................... 6 SUBMITTAL ............................................................................................ 6 ATTACHMENTS ..................................................................................... 7

ATTACHMENT 9-A: SEMI-ANNUAL REPORT CERTIFICATION (TEMPLATE) ........................................................ 8 ATTACHMENT 9-A1: SEMI-ANNUAL REPORT CERTIFICATION (SAMPLE) ............................................................ 9 ATTACHMENT 9-A2: SEMI-ANNUAL REPORT CERTIFICATION (INSTRUCTIONS) .............................................. 10 ATTACHMENT 9-B: SEMI-ANNUAL SUMMARY NARRATIVE (TEMPLATE) ............................................................. 11 ATTACHMENT 9-B1: SEMI-ANNUAL SUMMARY NARRATIVE FORM (SAMPLE) ...................................................... 12 ATTACHMENT 9-B2: SEMI-ANNUAL SUMMARY NARRATIVE (INSTRUCTIONS) ..................................................... 15 ATTACHMENT 9-C: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (TEMPLATE) ...................................... 16 ATTACHMENT 9-C1: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (SAMPLE) .......................................... 18 ATTACHMENT 9-C2: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (INSTRUCTIONS) .............................. 20 ATTACHMENT 9-D: SEMI-ANNUAL MBE/WBE REPORT (TEMPLATE) .................................................................................. 21 ATTACHMENT 9-D1: SEMI-ANNUAL MBE/WBE REPORT (SAMPLE) ....................................................................................... 23 ATTACHMENT 9-D2: SEMI-ANNUAL MBE/WBE REPORT (DEFINITIONS AND INSTRUCTIONS) .......................................... 25 ATTACHMENT 9-E: SECTION 3 REPORT (TEMPLATE) ............. 28


Page2 Chapter9:Reporting Revised:September2017

ATTACHMENT 9-E1: SECTION 3 REPORT (SAMPLE) ................ 30 ATTACHMENT 9-E2: SECTION 3 REPORT (INSTRUCTIONS) ... 32 ATTACHMENT 9-F: REPORTING REQUIREMENTS CHECKLIST .................................................................................... 34 ATTACHMENT 9-G: GRANT AGREEMENT TIMETABLE ............. 35 ATTACHMENT 9-H: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (TEMPLATE) ....................................... 38 ATTACHMENT 9-H1: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (SAMPLE) ........................................... 40 ATTACHMENT 9-H2: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (INSTRUCTIONS) ............................... 42

ADDITIONAL NOTES: (optional) .......................................................... 43 ADDITIONAL NOTES: (optional) ............ Error! Bookmark not defined.



CHAPTER 9: REPORTING

INTRODUCTION

This chapter provides overview of the federal and state reporting requirements related to Community Development Block Grant (CDBG) Program. It is important to use the correct reporting forms. Contact the assigned Division of Energy, Housing and Community Resources (DEHCR) Project Representative for the most current forms.

CDBG programs must report certain accomplishments semi-annually, while other accomplishments are reported annually (e.g. the Annual Section 3 Report and the Annual Single Audit Statement). The Grant Agreement will designate document submission due dates and activity completion benchmarks for the project. UGLGs are required to follow the Grant Agreement Timetable. See Attachment 9-G for a sample Grant Agreement Timetable.

IMPORTANT REMINDER!

Reporting requirements are subject to change at any time during the performance period per HUD and DEHCR requirements.

Review the Reporting Requirement Checklist (Attachment 9-F) for more information on required reporting forms and deadlines. Refer to the other chapters in this Handbook to confirm compliance with reporting requirements.

The timeliness of reporting is critical to maintain project compliance and avoid disruption in the CDBG payment approval process. Lack of timely reporting will impact the processing of payment requests.

IMPORTANT REMINDER!

Failure to complete and submit all required reports in a timely manner will impact the processing of payment requests.

SEMI-ANNUAL REPORTS

Semi-Annual Reports are required to provide updates on the status of the project to DEHCR. In addition, HUD monitors the states to report accomplishments promptly to Congress. The UGLG is required to follow their Grant Agreement Timetable and scope of work to provide accurate and timely information about the project.

The semi-annual reporting requirement begins when the UGLG receives a copy of the fully executed (i.e. “fully signed”) Grant Agreement from DEHCR, and continues until the UGLG has submitted the Project Completion Report and all supporting documents for the project.



The reporting periods and due dates for the Semi-Annual Reports are as follows:

For the period of April 1st through September 30th – the report is due no later than October 15th! Reports received after this date will be considered late and may impact the approval of CDBG payment requests.

For the period of October 1st through March 31st – the report is due no later than April 15th! Reports received after this date will be considered late and may impact the approval of CDBG payment requests.

DEHCR reserves the right to modify reporting periods and due dates for the Semi-Annual Reports, as needed.

IMPORTANT REMINDER!

The semi-annual reporting requirement begins when the Grant Agreement is fully executed (i.e. signed by DOA), and continues

until the UGLG has submitted the Project Completion Report and all supporting documents for the project.

The following required Semi-Annual Report Forms are attached to this chapter:

Semi-Annual Report Certification (Attachment 9-A);

Semi-Annual Summary Narrative (Attachment 9-B);

Semi-Annual Labor Standards Enforcement Report (Attachment 9-C)

Semi-Annual MBE/WBE Report (Attachment 9-D);

Semi-Annual and Annual Section 3 Reports (Attachment 9-E); and

Semi-Annual CDBG Project Employee Self-Certification Report (ED/PFED only) (Attachment 9-H).

If the assigned DEHCR Project Representative has provided additional instruction or updated forms, please use that guidance.

It is the responsibility of the UGLG to monitor and report on the performance of sub-recipients and contractors during the contractual performance period. The UGLG must submit complete reports to DEHCR in a timely manner.

SINGLE AUDIT REPORT

In addition to semi-annual reports, the UGLG must establish whether the Single Audit requirements listed in Uniform Guidance 2 CFR 200 apply (please refer to Chapter 11: Single Audit). The UGLG must submit a Single Audit Statement Letter (Attachments 11-B and 11-C) by January 15th of each calendar year for the duration of the Grant Agreement.

If applicable, the Single Audit Report is due by September 30th of each calendar year for the duration of the Grant Agreement. Further instructions on how to submit a full Single Audit Report are included in Chapter 11: Single Audit.



LABOR STANDARDS REPORT

The U.S. Department of Labor (USDOL) requires federal agencies administering programs subject to Davis-Bacon and Related Acts (DBRA) and Contract Work Hours and Safety Standards Act (CWHSSA) to furnish a Semi-Annual Labor Standards Enforcement Report (LSER) (Attachment 9-C), even if the number of hours worked for the reporting period are equal to zero. If the assigned DEHCR Project Representative has provided additional instruction or updated forms, please use that guidance.

The Semi-Annual LSER is due to DEHCR per the Grant Agreement Timetable. This report is often due prior to the end of the reporting period. If there is additional activity between the report due date and the end of the reporting period, the UGLG may include the previously unreported information with the next report.

The reporting periods and due dates for the Semi-Annual LSER are as follows unless the UGLG is notified by the DEHCR Project Representative of another submission date:

For the period of April 1st through September 30th – the report is due no later than September 25th. Reports received after this date will be considered late and may impact the approval of CDBG payment requests.

For the period of October 1st through March 31st – the report is due no later than March 25th. Reports received after this date will be considered late and may impact the approval of CDBG payment requests.

DEHCR reserves the right to modify reporting periods and due dates for the LSER as needed.

EQUAL OPPORTUNITY

Chapter 6 of the BCD CDBG Implementation Handbook describes the requirements related to Civil Rights Laws, including Equal Opportunity and Fair Housing. Please refer to Chapter 6 for more detailed information.

Reporting for Equal Opportunity compliance includes:

Semi-Annual MBE/WBE Reports (Attachment 9-D); and

Fair Housing Actions and documentation.

The reporting periods and due dates for the Semi-Annual MBE/WBE Reports are as follows unless the UGLG is notified by the DEHCR Project Representative of another submission date:

For the period of April 1st through September 30th – the report is due no later than September 25th. Reports received after this date will be considered late and may impact the approval of CDBG payment requests.

For the period of October 1st through March 31st – the report is due no later than March 25th. Reports received after this date will be considered late and may impact the approval of CDBG payment requests.



The reporting periods and due dates for Fair Housing are:

Fair Housing Actions – follow the Grant Agreement Timetable for due date. Report progress on Fair Housing Actions on the Semi-Annual Summary Narratives; and

Fair Housing Report – follow the Grant Agreement Timetable for due date. Report completed Fair Housing Actions on the Semi-Annual Summary Narratives and submit required supporting documentation.

Completion of Fair Housing Actions and submission of supporting documentation must be completed by the dates stated in the Grant Agreement and must be submitted to DEHCR with the associated Semi-Annual Report.

SECTION 3 REPORT

The Section 3 provisions require that recipients of CDBG funding, to the greatest extent feasible, provide job training, employment and contracting opportunities for LMI residents and for low- or very-low income businesses in connection with projects and activities in their communities. Section 3 Reports (Attachment 9-E) are required semi-annually for the period of October 1st – March 31st and annually for the period of October 1st – September 30th each year.

More information on Section 3 requirements is included in Chapter 6: Equal Opportunity, Fair Housing and Section 3.

EMPLOYEE SELF-CERTIFICATION REPORT

Projects funded with CDBG – Economic Development funds (CDBG-ED) and CDBG – Public Facilities Economic Development funds (CDBG-PFED) are required to submit a CDBG Project Employee Self-Certification Report (Attachment 9-H). The Report is a summary of all Employee Self-Certification forms submitted by employees at the point of hire during the reporting period. CDBG Project Employee Self-Certification Reports are required semi-annually for the period of October 1st – March 31st and April 1st – September 30th each year.

SUBMITTAL

DEHCR prefers electronic submittal(s), but paper copies are acceptable (one copy). There is no need to mail originals, if reports are submitted by email. However, originals must be kept in the UGLG’s project files.

Email Submittals: [email protected]

Mail: DEHCR Project Representative Wisconsin Department of Administration Division of Energy, Housing and Community Resources

Bureau of Community Development, 6th Floor P.O. Box 7970 Madison, WI 53707-7970

Disclaimer: Reporting requirements are subject to change at any time during the performance period per HUD and DEHCR requirements.



ATTACHMENTS

Attachments for this chapter are listed below: ATTACHMENT 9-A: SEMI-ANNUAL REPORT CERTIFICATION

(TEMPLATE)

ATTACHMENT 9-A1: SEMI-ANNUAL REPORT CERTIFICATION (SAMPLE)

ATTACHMENT 9-A2: SEMI-ANNUAL REPORT CERTIFICATION (INSTRUCTIONS)

ATTACHMENT 9-B: SEMI-ANNUAL SUMMARY NARRATIVE (TEMPLATE)

ATTACHMENT 9-B1: SEMI-ANNUAL SUMMARY NARRATIVE (SAMPLE)

ATTACHMENT 9-B2: SEMI-ANNUAL SUMMARY NARRATIVE (INSTRUCTIONS)

ATTACHMENT 9-C: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (TEMPLATE)

ATTACHMENT 9-C1: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (SAMPLE)

ATTACHMENT 9-C2: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (INSTRUCTIONS)

ATTACHMENT 9-D: SEMI-ANNUAL MBE/WBE REPORT (TEMPLATE)

ATTACHMENT 9-D1: SEMI-ANNUAL MBE/WBE REPORT (SAMPLE)

ATTACHMENT 9-D2: SEMI-ANNUAL MBE/WBE REPORT (DEFINITIONS AND INSTRUCTIONS)

ATTACHMENT 9-E: SECTION 3 REPORT (TEMPLATE)

ATTACHMENT 9-E1: SECTION 3 REPORT (SAMPLE)

ATTACHMENT 9-E2: SECTION 3 REPORT (INSTRUCTIONS)

ATTACHMENT 9-F: REPORTING REQUIREMENTS CHECKLIST

ATTACHMENT 9-G: GRANT AGREEMENT TIMETABLE

ATTACHMENT 9-H: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (TEMPLATE)

ATTACHMENT 9-H1: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (SAMPLE)

ATTACHMENT 9-H2: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (INSTRUCTIONS)



ATTACHMENT 9-A: SEMI-ANNUAL REPORT CERTIFICATION (TEMPLATE)



ATTACHMENT 9-A1: SEMI-ANNUAL REPORT CERTIFICATION (SAMPLE)



ATTACHMENT 9-A2: SEMI-ANNUAL REPORT CERTIFICATION (INSTRUCTIONS)

Instructions:

1. Enter the name of the UGLG, the CDBG contract number, the business

name (for ED/PFED projects only), and the reporting period end date.

2. Indicate which semi-annual report documents are attached.

3. The preparer must sign and date the “Preparer Certification.”

4. The UGLG must sign and date the “UGLG Approval.” It is recommended that the signer for the UGLG be the Chief Elected Official.

5. Submit one copy to the assigned DEHCR Project Representative (email is preferred), and retain the original document with the local CDBG project files.

Email Submittals: [email protected] Mail: DEHCR Project Representative

Wisconsin Department of Administration Division of Energy, Housing and Community Resources




ATTACHMENT 9-B: SEMI-ANNUAL SUMMARY NARRATIVE (TEMPLATE)



ATTACHMENT 9-B1: SEMI-ANNUAL SUMMARY NARRATIVE FORM (SAMPLE)



ATTACHMENT 9-B2: SEMI-ANNUAL SUMMARY NARRATIVE (INSTRUCTIONS)

Instructions:

1. Enter the UGLG name, DEHCR Grant Agreement #, and the reporting period end date.

2. THIS REPORTING PERIOD: In the “Objectives” section, list all the activities identified for the reporting period in the Grant Agreement Timetable. Do not insert additional objectives. In the “Accomplishments” section, describe the progress made on each objective, in detail, as well as any problems encountered and their resolution. Provide meaningful information such as names and dates of administration or contractors hired.

3. UPDATE ON PREVIOUS REPORTING PERIOD(S): In the “Delayed Objectives” section, list only those activities that were to be accomplished in a previous report, but had not been reported as completed. In the “Update” Section, describe the progress made, in detail, on each delayed objective, any problems encountered, and their resolution. If all activities scheduled for previous reports have been completed, leave this section blank.

4. ENVIRONMENTAL REPORT STATUS: Provide an update on progress made toward completing the Environmental Report requirements of the project. In the “Objectives” section, list the steps needed complete the ER (see ER Table of Contents). Do not insert additional objectives. In the “Accomplishments” section, describe the progress made on each step, in detail, as well as any problems encountered and their resolution. Provide meaningful information such as names and dates of documents completed, submitted, and/or received. Do not delete progress previously reported to DEHCR. Submit supporting documentation to the assigned DEHCR project representative.

5. FAIR HOUSING ACTIONS COMPLETED: Provide an update on progress made toward completing the Fair Housing Actions requirement of the project. In the “Objectives” section, list the UGLG’s contracted Fair Housing Actions as listed in the Grant Agreement. In the “Accomplishments” section, describe the progress made on each objective, in detail, as well as any problems encountered and their resolution. Provide meaningful information such as names and dates of events held, along with documents completed and dates published/posted. Do not delete progress previously reported to DEHCR. Submit supporting documentation to the assigned DEHCR project representative.

6. SECOND CITIZEN PARTICIPATION PUBLIC HEARING STATUS: Provide an update on progress made toward completing the Second Citizen Participation Public Hearing requirement of the project. In the “Objectives” section, list the UGLG’s contracted obligation(s) as listed in the Grant Agreement. In the “Accomplishments” section, describe the progress made toward completing the Public Hearing requirement, in detail, as well as any problems encountered and their resolution. Provide meaningful information such as names and dates of events held, along with documents completed and dates published/posted. Do not delete progress previously reported to DEHCR. Submit supporting documentation to the assigned DEHCR project representative.

7. Submit one copy to the assigned DEHCR Project Representative (email is preferred), and retain the original document with the local project file(s).






ATTACHMENT 9-C: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (TEMPLATE)



PLEASE NOTE: Download this form from http://doa.wi.gov/Divisions/Housing/Bureau-of-Community-Development, or contact the assigned DEHCR Project Representative, to ensure the current version of this form for proper report submission has been obtained.



ATTACHMENT 9-C1: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (SAMPLE)



ATTACHMENT 9-C2: SEMI-ANNUAL LABOR STANDARDS ENFORCEMENT REPORT (INSTRUCTIONS)

Instructions: The Unit of General Local Government (UGLG) must submit this Semi-Annual Labor Standards Enforcement Report form in accordance with the reporting schedule established in the UGLG’s CDBG Grant Agreement.

1. Fill-in the Labor Standards Enforcement Report “UGLG Name” and the “DEHCR Grant Agreement Number” fields found in the upper right corner on the first page of the form.

2. The report information must include any construction contract awards made and/or all active payroll monitoring of on-going construction projects conducted during the 6-month reporting period listed on the first page of the report form.

If there were no new construction contracts awarded during the 6-month reporting period, submit zeros as answers to Sections #1-3. Responses are required from all UGLGs with open/active CDBG Projects (i.e. projects not yet certified by DEHCR as being “completed”).

Column 3C: Report the eligible project cost (which includes any costs that will be funded using CDBG dollars and that are eligible to be counted as Match towards this CDBG project) for each Prime Contract awarded during this 6-month reporting period (refer to Column 3A).

If a portion of a Prime Contractor’s total award amount does not apply to the CDBG project, deduct the non-CDBG project-eligible amount from the contract award to calculate the Project-Related Contract Amount(s) that should be listed in Column 3C.

If the total award amount for each Prime Contract applies to the CDBG project, then the total of the values listed in Column C should equal the dollar value reported for Section 2.

Column 3F: The applicable Wage Decision Lock-In Date for each Prime Contractor is either the Bid Opening Date or the Contract Award Date.

If a contract is awarded within ninety (90) days of the bid opening, the Bid Opening Date is the date when the wage decision is considered to be locked-in for the project.

If a contract is awarded more than ninety (90) days after the bid opening, the Wage Decision must be double-checked for updates (i.e. additional modifications), and the current published Wage Decision would be applicable to the CDBG project. In this scenario, the Contract Award Date is the date when the wage decision is considered to be locked-in for the project.

If no active payroll monitoring was conducted during the 6-month reporting period, submit zeros as answers to Section #7 and Section #8. Responses are required from all UGLGs with open/active CDBG Projects (i.e. projects not yet certified by DEHCR as being “completed”).

The Labor Standards Enforcement Report form must be completed by the UGLG’s designated CDBG Labor Standards Officer. Make sure to provide the typed name and title of the designated CDBG Labor Standards Officer. Fill-in the date the form is completed by the designated CDBG Labor Standards Officer.

Retain the original completed form for your grant files, and send a copy (preferably via email) to the assigned CDBG Project Representative in the Division of Energy, Housing and Community Resources (DEHCR).




PLEASE NOTE: If any new contracts are awarded or any wage restitution payments are collected after the submittal of this report to the Division of Energy, Housing and Community Resources (DEHCR) for the reporting period covered on this report, the contract award & restitution payment information must be included on the next Semi-Annual Report submission to DEHCR.



ATTACHMENT 9-D: SEMI-ANNUAL MBE/WBE REPORT (TEMPLATE)



PLEASE NOTE: Download this form from http://doa.wi.gov/Divisions/Housing/Bureau-of-Community-Development, or contact the assigned DEHCR Project Representative, to ensure the current version of this form for proper report submission has been obtained.



ATTACHMENT 9-D1: SEMI-ANNUAL MBE/WBE REPORT (SAMPLE)



ATTACHMENT 9-D2: SEMI-ANNUAL MBE/WBE REPORT (DEFINITIONS AND INSTRUCTIONS)

SEMI-ANNUAL MBE/WBE REPORT FORM DEFINITIONS:

1. A Minority-owned Business Enterprise (MBE) is a business that is both owned and controlled by minorities. This means that there must be not less than 51 percent minority ownership of the business (a business in which more than 50 percent of the ownership or control is held by one or more minority individuals, and more than 50 percent of the net profit or loss which accrues is to one or more minority individuals), and that the minority ownership must control the management and daily operations of the business. When 51% or more of the business is not owned and controlled by any single racial/ethnic category, enter the race/ethnicity code which best classifies the majority of employees working for the Contractor or Sub-Contractor.

2. A Woman-owned Business Enterprise (WBE) is a business that is both owned and controlled by women. This means that there must be not less than 51 percent women ownership of the business (a business in which more than 50 percent of the ownership or control is held by one or more female individuals, and more than 50 percent of the net profit or loss which accrues is to one or more female individuals), and that the women ownership must control the management and daily operations of the business.

3. A Section 3 Business is a business that provides economic opportunities to low-income & very low-income persons. A Section 3 Business must be able to provide documentation to support at least one of the following situations:

The business has at least 51 percent ownership by Section 3 residents (a business in which 51 percent or more of the ownership is held by one or more Section 3 residents, and 51 percent or more of the net profit or loss which accrues is to one or more Section 3 residents); OR

At least 30 percent of the full-time employees of the business include persons that are currently Section 3 residents, or were Section 3 residents within 3 (three) years of their date of first hire by the Section 3 business; OR

The business provides evidence, as required, of a commitment to sub-contract in excess of 25 percent of the dollar amount awarded of all sub-contracts to business concerns that meet one of the first two qualifications for being a Section 3 Business (as listed above).

4. A Section 3 resident (or Section 3 person) is an individual that:

Is a public housing resident; OR

Is a low-income or very low-income person (as defined below):

A Low-Income level is defined as being 80% (or less than 80%) of the median income of that area.

A Very Low-Income level is defined as being 50% (or less than 50%) of the median income of that area.

SEMI-ANNUAL MBE/WBE REPORT FORM INSTRUCTIONS:

The Division of Energy, Housing and Community Resources’ (DEHCR’s) grant recipients are required to submit MBE/WBE Reports to the Division either Semi-Annually or Quarterly. Questions regarding project-specific reporting requirements should be directed to the assigned DEHCR Project Representative. For each MBE/WBE Report submitted, the following items must be completed:

Provide your project’s “Grantee/UGLG Name” and the “DEHCR Grant Agreement Number” information in the upper-right corner on the first page of the report.



Check mark the appropriate box (e.g. Community Development Program, HOME RHD/HHR, or Housing Program, or ESG) to specify the DEHCR Program that is funding the project for which the MBE/WBE Report is being submitted.

Check mark the appropriate box (e.g. Semi-Annual Report or Quarterly Report) to specify the type of report being submitted.

Check mark the appropriate box (e.g. 4/1–9/30/20YY, 10/1/20YY–3/31/20YY, 1/1–3/31/20YY, 4/1–6/30/20YY, 7/1–9/30/20YY, or 10/1-12/31-20YY) to indicate which semi-annual or quarterly reporting period is applicable.

PREPARER CERTIFICATION: Provide the name, job title, company/employer, telephone number, and email address of the person preparing the MBE/WBE report. The preparer must certify they have prepared this report by signing and dating the report prior to submitting it to DEHCR.

All MBE/WBE Reports must be signed and dated by the Chief Elected Official (CEO) [i.e., Mayor, City Council President, Village President, Town Board Chairman, County Board Chairman, or County Executive], and contain the printed/typed name and title of the CEO.

MBE/WBE CONTRACTOR/SUB-CONTRACTOR INFORMATION (Table on Page 2): Begin by individually listing the Business Name (1a.) of each Contractor and Sub-Contractor awarded contracts (funded with program dollars) for the project during the reporting timeframe listed.

For each business (i.e. contract recipient) listed in the table:

Column 1a: Indicate whether the business is a Contractor or Sub-Contractor by check marking the appropriate box. Also provide the Street Address, City, State, & ZIP Code for the business.

Column 1b: For each business that is listed as a Contractor (1a.), provide that Contractor’s FEIN #. If a business is listed as a Sub-Contractor (1a.), provide the FEIN # of the Prime Contractor overseeing the Sub-Contractor’s work on the project.

Column 1c: For each business that is listed as a Sub-Contractor (1a.), provide that Sub-Contractor’s FEIN #. If a business is listed as a Contractor (1a.), then leave the Sub-Contractor’s FEIN # (1c.) blank.

Column 1d: Provide the contracted dollar amount for the business’ services and materials. DO NOT DOUBLE-COUNT overlapping contract amounts. Funds awarded by a Contractor for sub-contracted work to Sub-Contractor(s) should be listed with the Sub-Contractor(s) information, NOT with the Contractor’s awarded dollar amount. (Refer to the examples provided below for further clarification.)

EXAMPLE #1: A project has awarded $100,000 in funds to each of two (2) Contractors, for a total of $200,000 during the current reporting period. Neither Contractor sub-contracts any work to Sub-Contractor(s). A portion of the MBE/WBE Report form would be completed as follows:



EXAMPLE #2: A project has awarded $100,000 in funds to each of two (2) Contractors, for a total of $200,000 during the current reporting period. The first Contractor (ABC Construction) does not sub-contract any work to Sub-Contractor(s). The second Contractor (XYZ Construction) sub-contracts a total of $25,000 (of their $100,000 contract) to two (2) Sub-Contractors (DEF Plumbing & GHI Paving). A portion of the MBE/WBE Report form would be completed as follows:

Column 1e: Provide the Trade Code for the type of work that each business (1a.) was

hired to perform. (Refer to the list of Trade Codes provided at the bottom of page 2.)

Column 1f: Indicate whether each business is a Minority-owned Business Enterprise (MBE) by listing the Race/Ethnicity Code designation for each business. (Refer to the definition of an MBE listed above. A list of race/ethnicity codes is provided at the bottom of page 2 of the form.)

PLEASE NOTE: If 51% or more of the business is not owned and controlled by any single racial/ethnic category, input the race/ethnicity code which best classifies the majority of minority employees working for the individual business.

Column 1g: Indicate whether each business is classified as a Woman-owned Business Enterprise (WBE). (Refer to the definition of a WBE listed above.)

Column 1h: Indicate whether each business is classified as a Section 3 Business. (Refer to the definition of a Section 3 Business listed above.)

Retain the completed MBE/WBE Report form in the project file and submit a copy of the completed report (email is preferred) to the assigned Project Representative at DEHCR.






ATTACHMENT 9-E: SECTION 3 REPORT (TEMPLATE)



PLEASE NOTE: Download this form from http://doa.wi.gov/Divisions/Housing/Bureau-of-Community-Development, or contact the assigned

DEHCR Project Representative, to ensure the current version of this form for proper report submission has been obtained.



ATTACHMENT 9-E1: SECTION 3 REPORT (SAMPLE)



ATTACHMENT 9-E2: SECTION 3 REPORT (INSTRUCTIONS) Federal regulation 24 CFR 135 requires the Grantee (i.e. Unit of General Local Government, Non-Profit, Housing Authority, etc.) and each of its contractors/sub-contractors/service providers that receives or are contracted for a project that is paid for with federal funds must complete a Section 3 report. The Grantee will compile all contractors/sub-contractors/service providers forms and submit a cumulative Section 3 Report to the Division of Energy, Housing and Community Resources (DEHCR) for each contract with DEHCR. Fill in the “DOA Agreement #” and “Name of Grantee” in the upper left-hand corner on the first

page of the form. This information can be found on the Contract Agreement.

Contact Information Fill in the “Preparer’s Name”, “Title”, “Telephone” and “E-mail” fields pertaining to the individual compiling the report information.

US Department of Housing and Urban Development (HUD) Reporting Period Check the appropriate reporting period for the report. Please note, CDBG Disaster Recovery (TKE) must continue to report quarterly.

Program Check the program under which the Section 3 Report is being submitted.

Part I: Employment and Training Report any new hires and trainees that are hired/trained with regards to the DOA Agreement/Contract listed above during the specified reporting period. For each Job Category listed in the table, indicate how many New Hires were completed during the specified reporting period, along with the number of New Hires that are/were Section 3 Residents (determination based on the county where the work is being performed) and the total number of Section 3 Trainees (that completed training during the specified reporting period) as it relates to the DOA Agreement. If no hires or trainees occurred, enter “0” (zero) in the space. If New Hire(s) or Trainee(s) does not fall into the pre-populated list of Job Categories, then enter the job title(s) in the Define Other field(s) and appropriately count the hire(s) or trainee(s).

Part II – Contracts Awarded Construction Contracts: 1. Enter the total dollar amount of construction contracts awarded during the reporting period.

The total dollar amount should include both HUD and match funds. Note: If DEHCR has awarded a contract to a grantee, but the grantee has not awarded the contract to a construction contractor, then the amount reported would be $0.

2. Enter the total dollar amount of construction contracts awarded to Section 3 businesses during the reporting period. The amount entered should reflect both HUD and match amounts. The amount entered cannot exceed the amount entered for Line #1.

3. Enter the percentage of the dollar amount of the construction contracts awarded to Section 3 businesses during the reporting period (Line 2 divided by [Line 1 + Line 2]). The result cannot exceed 100%.

4. Enter the total number of Section 3 businesses receiving construction contracts during the reporting period.

Non-Construction Contracts: Non-construction contracts are professional services contracts that are associated with construction (i.e. Architecture, Engineering, Site Preparation, Legal, etc.).

1. Enter the total dollar amount of non-construction contracts awarded during the reporting period. The total dollar amount should include both HUD and match funds. Note: If DEHCR



has awarded a contract to a grantee, but the grantee has not awarded the contract to a construction contractor, then the amount reported would be $0.

2. Enter the total dollar amount of non-construction contracts awarded to Section 3 businesses during the reporting period. The amount entered should reflect both HUD and match amounts. The amount entered cannot exceed the amount entered for Line #1.

3. Enter the percentage of the dollar amount of the non-construction contracts awarded to Section 3 businesses during the reporting period (Line 2 divided by [Line 1 + Line 2]). The result cannot exceed 100%.

4. Enter the total number of Section 3 businesses receiving non-construction contracts during the reporting period.

NOTE: Each space must be completed for Parts I and II. If no new hires or trainees occurred or no funds were spent then enter “0”. N/A is not an acceptable response.

Part III – Best Efforts Grantees should make every effort within their disposal to meet the regulatory requirements of Section 3. For example, this may mean going a step beyond the normal notification process for employment and contracting procedures by developing strategies that will specifically target Section 3 residents and businesses for these types of economic opportunities.

Describe the Grantee’s best efforts to give training and employment opportunities to Low- and Moderate Income (LMI) residents and/or businesses during the reporting period. Check all efforts that apply. Include any comments to emphasize any targeted outreach efforts that were made, along with procedures established to ensure the LMI residents and businesses were given opportunities in the evaluation and hiring/contracting processes. If no new hires were made, select the appropriate box.

For examples of best efforts see Appendix to 24 CFR Part 135 (https://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&sid=3a08288138e0183f1b595e73c537673a&rgn=div5&view=text&node=24:1.2.1.2.10&idno=24#ap24.1.135_192.1.

Signature of Preparer The form must be completed, signed and dated by the preparer. The preparer’s printed name must also be included.

Grantee Signature The form must be signed by the Grantee’s Chief Elected Official, Executive Director or his/her designee. If the form is being completed by a contractor or sub-contractor then the signature must be of the owner, business manager or project manager.

Document Submittal Original copies of completed Section 3 Reports must be maintained in the Grantee’s project files. A copy of the completed Section 3 Report must be e-mailed (preferred), faxed or mailed to:

Assigned Project Representative Wisconsin Department of Administration Division of Energy, Housing and Community Resources P. O. Box 7970 Madison, WI 53707-7970



ATTACHMENT 9-F: REPORTING REQUIREMENTS CHECKLIST

SEMI-ANNUAL REPORTS Form:

PLEASE NOTE: These forms are:

Due semi-annually as indicated in your executed CDBG Grant Agreement.

To be completed and submitted by the local Grant Administrator.

9-A Semi-Annual Report Certification

9-B Semi-Annual Summary Narrative

9-C Semi-Annual Labor Standards Enforcement Report

9-D Semi-Annual MBE/WBE Report

9-E Section 3 Report

9-H CDBG Project Employee Self-Certification Report

Annual Reporting Form: Completed by: Submit to: Due:

9-E Section 3 Report Grant Administrator DEHCR Project Rep To Be Announced by DEHCR on Annual Basis

SINGLE AUDIT

Form: Completed by: Submit to: Due: 11-B/ 11-C

Annual Audit Letter Grant Administrator DEHCR Project Rep January 15

Single Audit Report External auditor 1.) DOA Audit Bureau 2.) DEHCR Project Rep

Per the Grant Agreement Timeline

All reports are due to the assigned DEHCR Project Representative unless otherwise indicated. Electronic submission of reports is preferred. Any additional required documents listed in the BCD CDBG Implementation Handbook (but which are not listed above) may be requested by the DEHCR Project Representative at any time.

LABOR STANDARDS Form: Completed by: Due: 7-C Labor Standards Officer Designee Grant Administrator Upon execution of CDBG Agreement

7-D Request for Wage Decision and Response to Request

Labor Standards Officer Prior to advertising for bids

7-F Advertisement for Bids Chief Elected Official Upon advertisement for a bid

7-H Notice of Contractor Award Labor Standards Officer Upon awarding contract(s)

7-O Section 5.7 Enforcement Report Labor Standards Officer Upon finding any labor violations where underpayment is greater than $1,000

FINANCIAL MANAGEMENT

Form: Due: 8-A Depository Certification

Prior to executing the CDBG Agreement 8-B/C DOA 6456/DOA6457

8-D Financial Management Contact Person

8-E Signature Certification

8-F Request for Payment

With each request for CDBG funds

8-G Cash Control Register (Up-to-date as of the Payment Request submission date)

8-H CDBG Disbursement Journal (Up-to-date as of the Payment Request submission date)

8-I Matching Funds Journal (Up-to-date as of the Payment Request submission date)

Supporting documentation (Invoices, cancelled checks, bank statements, etc.)



ATTACHMENT 9-G: GRANT AGREEMENT TIMETABLE

July 28, 2017 – December 31, 2019 PF Performance Period [for two (2) full construction seasons] Due Date Activity

Prior to Construction

Execute Grant Agreement. Complete Environmental Report and obtain official approval from

DEHCR Environmental Desk. Submit copy of approval from DEHCR Environmental Desk to DEHCR CDBG Project Representative.

Establish record keeping system. Establish financial management system. Procure engineering and administrative services. Submit draft or executed grant administration contract(s) to DEHCR

CDBG Project Representative for review, if applicable. Enter into the administrative contract(s), if applicable. Complete acquisition and relocation requirements for property,

easement(s), etc., if applicable. Obtain federal Davis-Bacon wage rates, if applicable. Complete Record of Wage Decision Form. Submit to DEHCR CDBG

Project Representative for review. Prepare and solicit construction bids. Report date of bid advertisement and bid opening to DEHCR. Submit Notice of Contractor Award form and construction start date

to DEHCR. Submit bid tabulation summary to DEHCR CDBG Project

Representative. Obtain all necessary permits. Hold pre-construction meeting. Submit meeting minutes/notes to

DEHCR CDBG Project Representative.

January 15, 2018 Submit Single Audit Statement for CY2017. Submit Annual Section 3 Report for the period of October 1, 2016

through September 30, 2017 [reporting activities for July 28, 2017 (grant award date) through September 30, 2017] unless notified by DEHCR CDBG Project Representative of another submission date.

March 25, 2018 Submit Semi-Annual Labor Standards Report and MBE/WBE Report

for the period of October 1, 2017 through March 31, 2018 [reporting activities for July 28, 2017 (grant award date) through March 31, 2018] unless notified by DEHCR CDBG Project Representative of another submission date.



April 15, 2018 Submit Semi-Annual Report Certification, and Semi-Annual Report Narrative, and supporting documentation. Include accomplishments and activities for the period of October 1, 2017 through March 31, 2018 [reporting activities for July 28, 2017 (grant award date) through March 31, 2018]. Reporting forms must follow the guidance provided in the Implementation Handbook.

Submit Semi-Annual Section 3 Report, unless notified by DEHCR CDBG Project Representative of another submission date. Include accomplishments and activities for the period of October 1, 2017 through March 31, 2018.

July 1, 2018 Begin Construction. Document and report progress and/or delays to

DOA.

September 25, 2018 Submit Semi-Annual Labor Standards Report and MBE/WBE Report for the period of April 1, 2018 through September 30, 2018 unless notified by DEHCR CDBG Project Representative of another submission date.

September 30, 2018 Submit Single Audit Report and Management Letter for CY2017, if

the Grantee was required to complete a Single Audit for CY2017. Complete Fair Housing Actions described in Attachment F of the

Grant Agreement.

October 15, 2018 Submit Semi-Annual Report Certification, Semi-Annual Report Narrative, and supporting documentation. Include accomplishments and activities for the period of April 1, 2018 through September 30, 2018. Reporting forms must follow the guidance provided in the Implementation Handbook.

Report Fair Housing Actions completed (in the Fair Housing section of the Semi-Annual Summary Narrative) and submit supporting documentation to DEHCR.

Submit Annual Section 3 Report for the period of October 1, 2017 through September 30, 2018 unless notified by DEHCR CDBG Project Representative of another submission date.

January 15, 2019 Submit Single Audit Statement for CY2018. Arrange for Single Audit, if applicable.

March 25, 2019 Submit Semi-Annual Labor Standards Report and MBE/WBE Report for the period of October 1, 2018 through March 31, 2019 unless notified by DEHCR CDBG Project Representative of another submission date.

March 31, 2019 Conduct second Public Hearing to report project progress to, and

receive input from, local community regarding the CDBG project.



April 15, 2019 Submit Semi-Annual Report Certification, and Semi-Annual Report Narrative, and supporting documentation. Include accomplishments and activities for the period of October 1, 2018 through March 31, 2019. Reporting forms must follow the guidance provided in the Implementation Handbook.

Report status of second Public Hearing completion (in the 2nd Citizen Participation Public Hearing section of the Semi-Annual Summary Narrative) and submit second Public Hearing meeting notice, attendance list, and meeting minutes to DEHCR CDBG Project Representative.

Submit Semi-Annual Section 3 Report, unless notified by DEHCR CDBG Project Representative of another submission date. Include accomplishments and activities for the period of October 1, 2018 through March 31, 2019.

September 25, 2019 Submit Semi-Annual Labor Standards Report and MBE/WBE Report for the period of April 1, 2019 through September 30, 2019 unless notified by DEHCR CDBG Project Representative of another submission date.

September 30, 2019 Submit Single Audit Report and Management Letter for CY2018, if

the Grantee was required to complete a Single Audit for CY2018.

October 15, 2019 Submit Semi-Annual Report Certification, Semi-Annual Report Narrative, and supporting documentation to DEHCR CDBG Project Representative. Include accomplishments and activities for the period of April 1, 2019 through September 30, 2019. Reporting forms must follow the guidance provided in the Implementation Handbook.

Submit Annual Section 3 Report for the period of October 1, 2018 through September 30, 2019, unless notified by DEHCR CDBG Project Representative of another submission date.

October 31, 2019 Complete all Construction Activities. End of Construction Period. No construction expenses incurred

after this date.

December 31, 2019 Submit Final Payment Request and supporting documents. Submit Project Completion Report and supporting documents.

January 15, 2020 Submit Single Audit Statement for CY2019. Arrange for Single

Audit, if applicable.

September 30, 2020 Submit Single Audit Report and Management Letter for CY2019, if the Grantee was required to complete a Single Audit for CY2019.



ATTACHMENT 9-H: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (TEMPLATE)



ATTACHMENT 9-H1: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (SAMPLE)



ATTACHMENT 9-H2: CDBG PROJECT EMPLOYEE SELF-CERTIFICATION REPORT (INSTRUCTIONS)

The CDBG Project Employee Self-Certification Report is a summary of the information gathered from Employee Self-Certification Forms completed at the time of hiring. The Employee Self-Certification Form can be downloaded from http://doa.wi.gov/Divisions/Housing/Bureau-of-Community-Development under Resources.

1. Enter the name of the UGLG, business name and Grant Agreement # on front and back of the report.

2. Check off and enter the year of the current reporting period. For the Final Summary Report, enter the project start date and end date as listed in the Grant Agreement.

3. Baseline Job Number: Enter the number of jobs at the date of the UGLG’s application to the CDBG Program.

4. Total Jobs Created: Enter the number of full-time, permanent jobs created to date.

5. Total Workforce: Add the Baseline Job Number and the Total Jobs Created and enter the result.

6. Employee Race for Jobs Created: Enter the total number of employees reporting in each racial category under #2 on the Employee Self-Certification Form to date. Then enter the sub-group reporting as Hispanic. Enter zero (0) if there is no response.

For example, six (6) new employees completed Employee Self-Certification Forms with all six (6) identifying as White and of those three (3) also identified as Hispanic. Therefore, for White six (6) should be entered under Total Number and three (3) under Hispanic.

7. Information on Positions Created: Based on Employer responses on the Employee Self-Certification Form(s) to date, enter the total number of positions created within each of the classifications listed. Enter zero (0) if there is no response. Enter the total number of positions created in the final line.

8. Based on Employer responses on the Employee Self-Certification Form, enter the responses to Questions 1, 2 and 3 on the second page of the Report.

9. Using the information from the Family Income Category of the Employee Self-Certification Form enter the total number of employees reporting the income level for each of the categories.

10. Complete the Report Certification. The Report must be signed by the UGLG Chief Elected Official or his/her designee.

11. The Final Summary Report must be submitted with the Project Completion Report. It is a summary of all jobs created during the job creation period of the Grant Agreement.

12. Submit one copy to the assigned DEHCR Project Representative (email is preferred), and retain the original document with the local CDBG project files.

Email Submittals: [email protected] Mail: DEHCR Project Representative

Wisconsin Department of Administration Division of Energy, Housing and Community Resources




ADDITIONAL NOTES: (optional)

Part 09 - Chptr 09 Reporting FINAL - DOA Home - Chptr_09 Reporting.pdf · DEHCR prefers electronic...

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